Securities and Exchange Commission July 2021 – Federal Register Recent Federal Regulation Documents

Results 101 - 134 of 134
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating To Confidential Information, Market Disruption Events, and Other Changes
Document Number: 2021-14791
Type: Notice
Date: 2021-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14791.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E
Document Number: 2021-14790
Type: Notice
Date: 2021-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14790.html
Hartford Funds Exchange-Traded Trust, et al.
Document Number: 2021-14788
Type: Notice
Date: 2021-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14788.html
Commonwealth Credit Partners BDC I, Inc., et al.
Document Number: 2021-14787
Type: Notice
Date: 2021-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14787.html
Sunshine Act Meetings
Document Number: 2021-14892
Type: Notice
Date: 2021-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14892.html
Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory
Document Number: 2021-14734
Type: Notice
Date: 2021-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14734.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data
Document Number: 2021-14695
Type: Notice
Date: 2021-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14695.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data
Document Number: 2021-14694
Type: Notice
Date: 2021-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14694.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data
Document Number: 2021-14693
Type: Notice
Date: 2021-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14693.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data
Document Number: 2021-14691
Type: Notice
Date: 2021-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14691.html
New Age Alpha Trust and New Age Alpha Advisors, LLC
Document Number: 2021-14651
Type: Notice
Date: 2021-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14651.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts)
Document Number: 2021-14606
Type: Notice
Date: 2021-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14606.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change for New Rules 6.1P-O, 6.37AP-O, 6.40P-O, 6.41P-O, 6.62P-O, 6.64P-O, 6.76P-O, and 6.76AP-O and Amendments to Rules 1.1, 6.1-O, 6.1A-O, 6.37-O, 6.65A-O and 6.96-O
Document Number: 2021-14391
Type: Notice
Date: 2021-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14391.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of ConvexityShares 1x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts)
Document Number: 2021-14607
Type: Notice
Date: 2021-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14607.html
Submission for OMB Review; Comment Request
Document Number: 2021-14583
Type: Notice
Date: 2021-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14583.html
Submission for OMB Review; Comment Request
Document Number: 2021-14581
Type: Notice
Date: 2021-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14581.html
Submission for OMB Review; Comment Request
Document Number: 2021-14580
Type: Notice
Date: 2021-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14580.html
Proposed Collection; Comment Request
Document Number: 2021-14579
Type: Notice
Date: 2021-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14579.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Section of the NYSE Price List Setting Forth Credits Applicable to Supplemental Liquidity Providers
Document Number: 2021-14500
Type: Notice
Date: 2021-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14500.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount
Document Number: 2021-14390
Type: Notice
Date: 2021-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14390.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(i) To Identify the Current Day Consolidated High and Low Prices
Document Number: 2021-14389
Type: Notice
Date: 2021-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14389.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits and Charges at Equity 7, Section 118(a)
Document Number: 2021-14388
Type: Notice
Date: 2021-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14388.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Current Day Consolidated High and Low Prices
Document Number: 2021-14387
Type: Notice
Date: 2021-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14387.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Current Day Consolidated High and Low Prices
Document Number: 2021-14386
Type: Notice
Date: 2021-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14386.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(j) To Identify the Current Day Consolidated High and Low Prices
Document Number: 2021-14385
Type: Notice
Date: 2021-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14385.html
Sunshine Act Meetings
Document Number: 2021-14427
Type: Notice
Date: 2021-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14427.html
Sunshine Act Meeting; Cancellation
Document Number: 2021-14426
Type: Notice
Date: 2021-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14426.html
Proposed Collection; Comment Request
Document Number: 2021-14263
Type: Notice
Date: 2021-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14263.html
BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc.
Document Number: 2021-14261
Type: Notice
Date: 2021-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14261.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Document Number: 2021-14254
Type: Notice
Date: 2021-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14254.html
Sunshine Act Meetings
Document Number: 2021-14381
Type: Notice
Date: 2021-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/02/2021-14381.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Exclude a National Best Bid or Offer From the Calculation of the BZX Official Closing Price, as Provided in Rule 11.23(c)(2)(B)(ii)(b), That Is Outside the Bands Provided Under the Plan To Address Extraordinary Market Volatility
Document Number: 2021-14013
Type: Notice
Date: 2021-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14013.html
Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2021-14012
Type: Notice
Date: 2021-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14012.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2021-14006
Type: Notice
Date: 2021-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On February 4, 2021, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of approximately $20,000 incurred in connection with the reorganization were paid by the applicant's investment advisor. Filing Dates: The application was filed on March 4, 2021 and amended on June 11, 2021. Applicant's Address: Cassandra.Borchers@thompsonhine.com.
https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14006.html
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